Compliance Officer – Regulatory Risk Testing




Job Details:

  • Analyze consumer compliance regulatory risk based upon the Bank’s Consumer Compliance Regulatory Risk Assessments.
  • Prepare practical work programs that effectively test compliance with the applicable regulations of the bank’s operations.
  • Conduct compliance reviews to determine the effectiveness of the Bank’s compliance program in an effective and timely manner.
  • Assess and challenge whether the control framework meets regulatory expectations
  • Prepare detailed workpapers to support the results of the review
  • Report and present findings and observations.
  • Develop draft report of review results.
  • Track the status of issues identified during reviews, assess the actions taken and ensure they remediate the risks

Job Requirements:

  • A Bachelor’s Degree.
  • Five to seven years of experience conducting consumer compliance testing or audits within banking, financial services or examination experience at a financial industry regulator.
  • Five to seven years of experience working with US Banking consumer regulations (CRM and/or Securities or Insurance Industry regulation knowledge is a plus).  
  • Knowledge of banking products, processes, systems and controls
  • Highly effective at identifying compliance risks, determining root causes and recommending actionable solutions.
  • Experience conducting control design assessments and operating effectiveness testing.
  • Excellent analytical, communication and report preparation skills.
  • Familiarity with workpaper system(s) and workpaper
  • Manage time effectively and meet deliverable due dates.
  • Ability to communicate effectively with all levels of personnel.
  • Confidence to professionally challenge stakeholders.
  • Capable of dealing with conflict and achieving solutions through negotiation.
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